OSHRC Fiscal Year 2002 Budget Request

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Occupational Safety and Health Review Commission

OSHRC

Fiscal Year 2002

Integrated Budget Request

and

Annual Performance Plan

April 2001

Table of Contents

Fiscal Year 2002 Integrated Annual Performance Plan and Budget Request

 Page

I. Summary and Highlights
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II. Introduction -- Mission, Vision, and Strategic Goals

III. Budget Request and Annual Performance Plan by Organizational Function

IV. Strategies in the Strategic Plan (Revised)

V. FY 2001 Revised Final Annual Performance Plan

VI. Budget by Object Classification Category

VII. Other Tables

I. Summary and Highlights

The Occupational Safety and Health Review Commission is requesting $8,964,000 in funding for FY 2002. This

amount is 2.8 percent above the amount available for FY 2001 ($8,720,000). The request would support 70 FTEs.

The increase reflects the impact of the January 2001 and 2002 pay raises.

This amount would allow the Review Commission to fulfill its legislative mandate to serve as an administrative

court providing just and prompt resolution of disputes involving the Occupational Safety and Health

Administration (OSHA), employers charged with violations of Federal safety and health standards, and employees

and/or their representatives. The request supports the goals in our strategic plan that aim to improve service to

and communications with the public along with an organizational goal that supports the two main goals.

Highlights of the FY 2002 budget request, more fully detailed in subsequent sections, are as follows:

The pay request would allow us to fund 70 FTEs to address the increasing complexity of the judicial

workload and the retirement of old and complex cases at the review level. The request would allow us to

begin the implementation of a workforce succession plan.

The request reflects the payroll and benefit increases due to mandatory cost of living and locality pay

increases, increases in benefits costs due to changes in benefits, and within grade increases. The request

assumes that there will be no Commission or judicial vacancies in FY 2002.

The request includes $727,000 for office space rent. This amount reflects the last year of savings from

negotiations with GSA in FY 2000.
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The funds would allow $187,000 for judicial travel and transcript costs.

The funds would also enable us to maintain our website which provides easy access to Review Commission

decisions.

The request would provide for support of automation and technology, including hardware, software and

contractual support and would allow us to continue investing in our employees.

The principal factors that affect the workload of our Administrative Law Judges are the number of safety and

health inspections carried out by OSHA each year, the nature of those inspections, and the rate at which

employers choose to contest the citations issued and penalties proposed by OSHA as a result of its enforcement

activity. The FY 2002 request assumes that OSHA will conduct approximately the same number of inspections in

FY 2002 as are planned for FY 2001.

At the Commission level, the maintenance of a three-member Commission, or at a minimum, a quorum, is the

major factor impacting the Commission's workload. The Commission consists of three members. The

Occupational Safety and Health Act requires a quorum of two Commissioners and the affirmative vote of two

Commissioners to decide a case. During periods when the Commission has no quorum, no cases can be decided.

With fewer than three members, deadlocks on votes may result. Cases with large proposed penalties and more

complex cases have a greater likelihood of an impasse with only two members. Action on important issues may be

postponed and issuance of pending cases may be delayed. During FY 2002 we expect that the Commission will be

fully staffed. However, there is currently a vacancy in the Commission.

Conclusion

Spending has been pared to the maximum extent possible in every area. Our goals are to resolve cases and provide

information to the public. Without the needed funding, the ability to resolve cases at the Administrative Law

Judge and Commission levels would be impacted. Our communications with the public would be diminished and

organizational effectiveness would be reduced.

II. Introduction -- Mission,

Vision, and

Strategic Goals

The Review Commission is an independent, adjudicatory agency created by the Occupational Safety and Health

Act of 1970. Its sole statutory mandate is to serve as an administrative court providing just and expeditious

resolution of disputes involving OSHA, employers charged with violations of Federal safety and health standards,

and employees and/or their representatives. The Review Commission was created by Congress as an agency

completely independent of the Department of Labor to ensure that OSHA's enforcement actions are carried out in

accordance with the law and that all parties are treated consistent with due process should a dispute arise.

The Occupational Safety and Health Act and the Review Commission's Rules of Procedure provide two levels of

adjudication when an employer timely contests an OSHA citation for alleged violations of the Act or failure to

abate such alleged violations. The first is a trial level, which affords an opportunity for a hearing before a Review

Commission Administrative Law Judge. The judge's decision becomes final unless the decision is directed for

review to the Commission. The second level is a discretionary appellate review of the judge's decision by the

Commission members. Both before its judges and the Commissioners, the Review Commission provides fair and

impartial adjudication of cases concerning the safety and health of employees' working conditions in the United

States.

The principal (national) office of the Review Commission is located in Washington, D.C. There are also regional

offices in Atlanta and Denver.
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Mission Statement

The mission of the Occupational Safety and Health Review Commission is to provide an impartial forum for the

just and prompt adjudication of workplace safety and health disputes involving the Department of Labor,

employers and employees, and/or their representatives under the Occupational Safety and Health Act of 1970.

Vision Statement

The Review Commission continues to strive to be:

a quasi judicial body that is -- and is recognized for being -- objective, fair, prompt, and professional;

an agency that creates a body of law through its decisions that defines and explains the rights and

responsibilities of employers and employees under the Occupational Safety and Health Act of 1970;

a model Federal agency with highly effective processes, a highly motivated, qualified and diverse workforce,

and modern information management, communications, and administrative systems; and

an agency that values team work, develops its employees, and strives to improve its performance, service,

and value to the American people.

Strategic Goals

The Review Commission has three strategic goals:

Goal #1: Public Service Goal: To assure fair, just, and expeditious adjudication of disputes brought before the

Commission and its judges, and achieve a high level of quality in all legal decisions

Goal #2: External Communications Goal: To enhance the efficiency and effectiveness of communications

between the Commission and the public it serves

Goal #3: Organizational Goal: To further develop and invest in a highly effective, motivated, and diverse

workforce equipped with modern information technology and communications systems to facilitate the

accomplishment of its goals, meet program needs and increase organizational effectiveness and efficiency

NOTE: The Review Commission revised its Strategic Plan in October 2000. Copies of the previous and

revised plans appear in our website: www.oshrc.gov. A copy of the strategies in our revised plan appears

under section IV of this document. The Review Commission also revised its FY 2001 Final Annual

Performance Plan, and a copy appears under section V of this document.

III. Budget Request

and

Annual Performance Plan

by

Organizational function
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FY 2002 Budget Request and Annual Performance Plan

by Organizational Function

This section describes the three functions of the Review Commission:

Administrative Law Judge function,

the Commission function, and

the Management and Administration function.

Each function has a staff assigned exclusively to it, and there is virtually no sharing of staff resources

between the functions. This circumstance principally stems from the nature of the Administrative Law

Judge and Commission functions, which must be separate so that each of these review levels is, both in fact

and appearance, independent of the other. The Management and Administration function supports both the

Administrative Law Judge and Commission functions.

Budget by Major Categories

FY 2001 - FY 2002

(In 000s of dollars)

FY 2001 (CY) FY 2002 (BY)

$ % $ %

Personnel Compensation and Benefits 7,030 80.1% 7,274 81.1%

Non-Payroll 1,690 19.9% 1,690 18.9%

Total Obligations 8,720 100% 8,964 100%

Full Time Equivalent Positions 72 70

Personnel Compensation and Benefits are the Agency's largest cost. In FY 2002, Personnel Compensation

and Benefits will constitute 81.1 percent of the amount requested. This proportion is 1 percent greater than

in FY 2001 and reflects the impact of the January 2001 and 2002 pay raises.

The request would allow the Review Commission to begin the implementation of a workforce succession

plan. Twenty-five percent of the Review Commission's permanent staff can retire now. By the end of FY

2003, 53 percent of the permanent staff will be able to retire. Seventy-five percent of our Administrative Law

Judges, can retire now. Similarly, one third of our attorneys could retire by the end of FY 2003.

Staffing by function is as follows:

FTE by Function

FY 2001 Est. FY 2002

Est.

Administrative Law Judge 29 29

Commission 25.5 23.5

Management and Administration 17.5 17.5

Total 72 70
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Administrative Law Judge Function

Function

The function of the Review Commission's Administrative Law Judge Division is to conduct formal hearings

and related proceedings in a fair, just, and expeditious manner. The function is directly related to our public

service goal.

The Administrative Law Judges report organizationally, through the Chief Judge, to the Chairman.

However, they act independently in arriving at case decisions. The Federal Rules of Civil Procedure, which

we follow, provide guidelines for managing cases. The rules require a "just, speedy and inexpensive

determination of every action."

Proceedings Before the Review Commission's Administrative Law Judges

The events leading to the presentation of an OSHA case before a Review Commission Administrative Law

Judge follow an established procedure. To contest all or part of a citation, penalty, or abatement period, an

employer must file a notice of contest within 15 working days from the receipt of the citation proposed by

OSHA. The Secretary of Labor transmits the notice of contest and all relevant documents to the Review

Commission's Executive Secretary for filing. After the case is docketed, it is forwarded to the Office of the

Chief Judge who monitors the process and assigns the case to an Administrative Law Judge. The case is

generally assigned to an Administrative Law Judge in the Review Commission office closest to where the

alleged violation occurred. Thereafter, the Administrative Law Judge has full responsibility for all prehearing and pre-trial procedures, including settlement, and is charged with providing a fair and impartial

hearing in an expeditious manner, and rendering a decision promptly.

Administrative Law Judge Operations

The Review Commission strives to increase the percent of cases adjudicated, strengthen its settlement

procedures and case management responsibilities, and maintain the success of its E-Z Trial and Settlement

Part processes. The Administrative Law Judge function also has to address a caseload which is becoming

more complex. Achieving these ends is the primary responsibility of the Chief Administrative Law Judge.

OSHA's emphasis during recent years on more serious workplace hazards, and the consequent increase in

proposed penalties, has translated into more complicated cases, and more costly trials. These cases command

a greater portion of the judges' time. The Review Commission anticipates that this trend will continue.

The complexity of these cases is the result of the existence of any one or a combination of the following:

the intricacies of the law,

the number of parties,

the volume of documents, including transcripts,

the large number of witnesses (including expert witnesses in such fields as engineering, architecture,

construction, soil, physics, epidemiology, pathology, neurology and infectious diseases),

the length of the trial,

the large amounts of money involved,

the number of alleged violations, items, and affirmative defenses (including distinct and separate

items),
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the technical, novel, difficult or new standards raised,

the types of cases, such as those involving air pollution, asbestos, lead poisoning, tuberculosis, or

ergonomics, or

the extensive pre-trial discovery in the largest or most complex cases, including volumes of depositions

and interrogatories, conferences, and numerous motions.

This trend presents a challenge to the goal of achieving a just and prompt decision in each case.

In FY 1999, the Review Commission piloted a mandatory settlement process known as the "Settlement Part"

to handle large cases. The "Settlement Part" requires formal settlement efforts where the proposed penalty

is $200,000 or over, or if the Chief Judge finds that a case is appropriate for this part because of its

complexity. Such cases have a higher probability of going to trial, and when they do, they are likely to take

more than two years to resolve under our conventional process. In FY 2000, 42 cases were assigned to

"Settlement Part." In FY 1999, the settlement procedure resulted in the settlement of a majority of the cases

assigned to the program. A formal evaluation of the program was completed in September 2000. The

evaluation showed generally positive results, including substantial satisfaction among the program's users.

Accordingly, the Commission voted to make the program permanent. The Chairman will continue to

monitor the program to ensure its effectiveness.

The E-Z Trial process allows parties with relatively simple cases to have their "day in court" unencumbered

by the myriad rules of procedure and evidence while assuring that due process requirements are maintained.

Under this process, small businesses with or without counsel can present a case before an impartial judge

and receive a swift decision. Most paperwork, including legal filings, has been eliminated so that justice can

be rendered swiftly and inexpensively. The process is intended to reduce the time and legal expenses to

employers contesting relatively small penalty cases. The process also allows more time for Administrative

Law Judges to address the more complex cases.

The Review Commission expects to continue the use of the E-Z Trial process and to evaluate its effectiveness

in FY 2001.

E-Z Trial Case Activity

FY 1998 through FY 2002

FY 1998 FY 1999 FY 2000 FY 2001 FY 2002

Actual Actual Actual Est. Est.

New Cases 2,124 2,324 2,407 2,500 2,500

Cases assigned to E-Z Trial 611 733 934 975 975

The proportion of new cases assigned to the E-Z Trial process increased over the last three years. We

estimate that the proportion of cases assigned to the program in FY 2001 and FY 2002 will be relatively

stable.

Anticipated Administrative Law Judge Workload for FY 2002

Three major factors impact on this function's workload: (1) the quantity, magnitude, and nature of the cases,

(2) the success of the process initiatives (the E-Z Trial and Settlement Part processes), and (3) the number of

trials held, and their length and complexity.

OSHA recently projected that it expects to conduct 36,400 inspections in FY 2002. The Review Commission's

caseload will be affected not only by the number of inspections but by OSHA's focus on the highest hazard

workplaces and most serious workplace hazards. These inspections could result in more complex cases.
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These complex cases consume extensive judicial time since the discovery process is lengthy and time

consuming, motion practice is expanded, legal research and decision writing time is protracted and, of

necessity, the trial process is elongated and complicated.

Administrative Law Judge Case Activity

FY 1998 through FY 2002

FY 1998 FY 1999 FY 2000 FY 2001 FY 2002

Actual Actual Actual Est. Est.

1. OSHA Inspections 34,443 34,342 36,350 36,400 36,400

2. New Cases 2,106 2,324 2,407 2,500 2,500

Cases over $50,000 235 290 220 250 250

3. Administrative Law Judge

a. Case Inventory, Start of Year 1,021 842 985 846 736

b. New Cases 2,106 2,324 2,407 2,500 2,500

c. Total Caseload 3,127 3,166 3,392 3,346 3,236

d. Disposals

(1) With Hearing 158 156 131 127 127

(2) Without Hearing 2,127 2,025 2,415 2,483 2,483

e. Total Dispositions 2,285 2,181 2,546 2,610 2,610

4. Total Case Inventory, End of Year 842 985 846 736 626

The table above shows projected, as well as recent, case activity. As shown in this table, the level of

inspections by OSHA, combined with the focus on alleged large-scale and willful violators of health and

safety regulations, is expected to result in an increase in new cases appealed to the Review Commission --

from 2,106 cases in FY 1998 to 2,500 cases in FY 2002. In FY 2000 there were 2,546 dispositions at the

Administrative Law Judge level. This represents an increase of 11 percent over the FY 1998 case disposition

level of 2,285. Factors that have contributed to the increase include improved case management through

technological improvements, the increased proportion of cases that are assigned to E-Z Trial, and improved

settlement efforts. The Review Commission's performance goals include several goals aimed at increasing the

percent of cases issued within a specific time.

Staffing

Of the total 70 FTEs requested, 29 are required for the Administrative Law Judge function. This staff level

includes the employment of fourteen Administrative Law Judges and fifteen staff attorneys and other

support staff. Given the number of inspections occurring in FY 2000 and projected by OSHA for future

years, the Review Commission believes that this is the minimum number of FTEs needed to address the

expected workload.

The Chief Judge manages the effort to increase the percent of cases tried within the established goal and to

increase the percent of cases processed without a hearing within the established goal. The Chief Judge:

Conducts early review and screening of the potentially difficult cases before assignment,

Exercises strong management and monitoring of progress of cases to meet performance goals,

Ensures training of judicial and administrative staff, and

Engages in benchmarking efforts of other judicial case management practices.

The assumption of these additional administrative duties make it even more important to maintain a full

complement of Administrative Law Judges.
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FTE

FY 2001 Est. FY 2002

Est.

Administrative Law Judge 29 29

Strategic Plan Goals and Objectives and Performance Goals and Measures

The Review Commission's Strategic Plan (Revised) includes the following goals and objectives related to this

function:

Strategic Plan Goal Strategic Plan Objectives

GOAL # 1

Public Service Goal

To assure fair, just, and expeditious adjudication of disputes brought before the

Commission and its judges, and achieve a high level of quality in all legal

decisions

1.1 Increase the percent of non-complex cases heard by

Administrative Law Judges that take less than a year

to resolve

1.2 Increase the percent of complex cases heard by

Administrative Law Judges within 18 months

1.3 Increase the percent of cases settled within six months

1.4 Increase the percent of cases that take less than a year

to settle to 99 percent

1.7 Establish and comply with quality standards

1.8 Explore ways to adapt alternative means of dispute

resolution to case processing

The Review Commission intends to advance this strategic goal and objectives during FY 2002 with the

performance goals and indicators in the next table. Performance indicators or measures appear next to each

performance goal.

1.1

*

Performance Goals Performance

Indicators

FY 1998

Actual

FY 1999

Actual

FY 2000

Actual

FY 2001

Estimate

FY 2002

Estimate

Increase the percent of non-complex cases

disposed of with hearing that are disposed of

within 325 days

75% within

325 days

NEW

FOR

FY 2001

NEW

FOR

FY 2001

NEW

FOR

FY 2001

70%

within

325 days

75%

within 325 days

1.2

*

Increase the percent of complex cases disposed

of with hearing that are disposed of within 18

months

75% within

540 days

NEW

FOR

FY 2001

NEW

FOR

FY 2001

NEW

FOR

FY 2001

70%

within

540 days

75% within 540 days

1.3 Increase the percent of cases that are disposed

of without a hearing that are disposed of within

six months

75% within

180 days

NEW

FOR

FY 2001

NEW

FOR

FY 2001

NEW

FOR

FY 2001

70%

within

180 days

75% within 180 days

1.4 Increase the percent of cases that are disposed

of without a hearing that are disposed of in less

than one year

99% within

365 days

96%

within

365 days

97%

within

365 days

98%

within

365

days*

99%

within

365 days

99% within 365 days

1.7 Establish quality standards for trial decisions

and case processing

Percent of

effort to

complete

NEW

FOR

FY 2002

NEW

FOR

FY 2002

NEW

FOR

FY 2002

NEW

FOR

FY 2002

25%

(Establish team to benchmark

quality standards for case

processing)

1.8 Explore alternative means of dispute resolution Benchmark NEW NEW NEW NEW Benchmark other ADR
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for Review Commission cases other ADR

initiatives

FOR

FY 2002

FOR

FY 2002

FOR

FY 2002

FOR

FY 2002

initiatives

* Conventional cases disposed of with hearing were measured and reported without regard to complexity in

fiscal years 1998, 1999, and 2000. Conventional cases settled without a hearing within six months and all

cases (conventional and E-Z Trial) settled within a one-year cycle time were measured and reported in FYs

1998, 1999, and 2000. The new measurements for cases tried with or without a hearing include conventional

and E-Z Trial cases.

Commission Function

Function

The function of the Commissioners is to adjudicate cases contested under the Act, subsequent to an initial

decision by an Administrative Law Judge. This higher level of review must be both prompt and protective of

the parties' rights. The function is directly related to our public service goal.

Proceedings Before the Commission

As mentioned previously, the Review Commission performs an adjudicatory function independent from the

enforcement and rule-making functions vested in OSHA. Disputed enforcement proceedings are tried

initially before the Review Commission's Administrative Law Judges. Decisions by the Review Commission's

Administrative Law Judges may then be reviewed by the Commission members.

The Occupational Safety and Health Act of 1970 provides that the President appoint, and the Senate

confirm, each Commissioner to serve a six-year term. The Commissioners sit as an appellate review body

with discretionary authority to review any case decided by the Review Commission's Administrative Law

Judges. Each Commission member has the authority to review any case decided by any judge and may, by a

single vote, direct a particular case for hearing by the Commission members. Absent such a direction, the

decisions of the Administrative Law Judges become final by operation of law. Once directed for review, the

Commission members have authority to review all aspects of a case, including judges' conclusions of law,

findings of fact, penalty assessments and abatement schedules.

Each Commissioner is aided by a counsel who is responsible for providing assistance and advice on all

pending matters, including the proper disposition of cases and motions and whether cases are appropriate

for Commission review. Each counsel also aids the Commissioner in researching and editing draft opinions.

Their work complements the work of the General Counsel.

The General Counsel has primary responsibility for preparing and presenting factual and legal analyses to

assist Commission members in adjudicating appeals. Office of General Counsel staff has primary

responsibility for presenting cases to the Commission for disposition and for preparing drafts of the

Commission's opinions.

Commission Operations

The Commission strives to reduce the time for adjudicating cases and the number of pending cases. Aided

by improved case management technology, the Commission seeks to strengthen the internal processes by

which a case is prepared. Two external factors have a major impact on the operations of the Commission:

the maintenance of a quorum and the complexity of cases.

As mentioned previously, the Commission consists of three members. The Occupational Safety and Health

Act requires a quorum of two Commissioners and the affirmative vote of two Commissioners to decide cases.

During periods when the Commission has no quorum, no cases can be decided. In addition, with only two
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Commissioners, it may be more difficult to reach agreement sufficient to dispose of some cases. In cases

where such agreement cannot be reached, deadlocks result ("impasses"). As a result, action on important

issues may be postponed and issuance of some pending cases will be delayed.

The number of safety and health inspections carried out by OSHA each year, the nature of those inspections,

and the rate at which employers choose to contest the citations issued and penalties proposed by OSHA as a

result of its enforcement activity have an impact on the cases filed with the Review Commission. In turn,

OSHA's emphasis during recent years on more serious workplace hazards, and the consequent increase in

proposed penalties, has translated into more complicated cases, more costly trials. Consequently, the

complexity of the cases both at the Administrative Law Judge level and at the Commission level has

increased steadily in recent years.

The Commission's inventory of cases includes a number of extremely large and difficult cases. Preparation

of each of these cases consumes a huge amount of attorney and Commissioner time. This, in turn, slows work

on all other cases. The size and complexity of these cases have impacted the ability of the Office of the

General Counsel to prepare and present a steady flow of cases to the Commission for disposition and to

prepare the initial drafts of the Commission's opinions. To address this problem, we established two team

leader positions in the Office of the General Counsel to speed preparation, facilitate coordination of issues,

and to help assure consistency among cases. Team case preparation has shortened the time to analyze,

present, and draft a number of these cases.

During FY 2000 the Commission implemented several strategies to resolve as many cases as possible, while

adhering to high standards of quality:

Identifying as a priority the resolution of older, larger, more significant, or more complex cases

Increasing the number and the length of Commission meetings to ensure thorough consideration of the

various complex issues

Utilizing a cross-section of expertise in resolving complex cases -- including individual discussions with

the General Counsel, the Deputy General Counsel, team leaders, and the counsel to each

Commissioner -- in addition to discussions with and reviews by the Commissioners themselves

As a result of these strategies, in FY 2000, the Commission resolved several cases dating back to the early

part of the 1990s. Over the period July 2000 through October 2000, the Review Commission issued twelve

cases that had a cumulative age at the Commission level of 57. Most of these cases were very large, both in

terms of record size and the number and complexity of issues.

Anticipated Commission Workload for FY 2002

The Commission was without a quorum for most of FY 1998 and was without a third Commissioner from

April 1997 to December 1999. As a result of a recess appointment in December 1999, the Commission had a

full three-member Commission until the end of November 2000. Currently, there is one vacancy in the

Commission. There also is one recess appointee whose term will expire upon the adjournment of this session

of Congress, if he is not confirmed. As a result, the Commission expects to maintain a quorum throughout

the remainder of FY 2001. Any additional vacancies during FY 2001 will have an impact on the number and

types of cases that can be decided during FY 2001 and therefore, on the inventory of cases at the beginning

of FY 2002. Although we anticipate that the Commission will be fully staffed during FY 2002, vacancies will

continue to impact our ability to decide and issue cases.

Office of General Counsel and Commissioners' Case Activity

FY 1998 - FY 2002

FY 1998 FY 1999 FY 2000 FY 2001 FY 2002
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Actual Actual Actual Est. Est.

1. New Cases (a + b)

a. Cases Directed for Review 43 31 48 36 40

b. Other New cases 4 5 4 2 2

(1) Interlocutory Appeals (0) (2) (1) (0) (0)

(2) Remands (2) (3) (3) (2) (2)

(3) Other (2) (0) (0) (0) (0)

c. Total New Cases (a + b) 47 36 52 38 42

2. Case Inventory from Prior Year 45 79 72 88 80

3. Total Caseload (1 + 2) 92 115 124 126 122

4. Dispositions 13 43 36 46 48

a. Final Decisions Issued (9) (24) (27) (32) (32)

b. Other Dispositions (4) (19) (9) (14) (16)

5. Case Inventory, End of Year (3 - 4) 79 72 88 80 74

The table above shows projected, as well as recent, case activity. As shown in this table, the number of cases

in the inventory at the end of FY 2000 increased from the level of the inventory at the end of FY 1998. This

is a reflection of a higher number of cases directed for review, the fact that the Commission only had two

members for three months in FY 2000, and the complexity of the older cases that the Commission addressed

during the year. The facts that the Commission focused on more difficult cases in FY 2000, which take more

time to resolve, and that there were more cases directed for review, also contributed to the increase in the

inventory at the end of the year.

During FY 1999, when the Commission had a quorum for approximately a nine-month period, there were 43

dispositions as compared to only 13 dispositions in FY 1998. Eighteen of the 43 dispositions (42 percent)

occurred during the last three months of the fiscal year. During that same year, fewer cases were directed

for review. The net effect was that the inventory of cases at the end of the year was reduced. However, the

cases that remained were older and more complex. These are the cases that the Commission addressed

during most of FY 2000.

A series of temporary hires in FY 2000, who largely were used to help expedite the processing of newer and

less complex cases while freeing up the more senior permanent staff attorneys to concentrate on the old and

complex cases, and in some instances supported the work on these cases. The success of this strategy is

without precedent in the Review Commission. Between July 2000 and October 2000, the Commission issued

twelve cases that had a cumulative age at the Commission level of 57 years.

Staffing

The FY 2002 budget requests funding for 9 FTEs to include the three Commissioners and their immediate

staff (each Commissioner has a counsel and a confidential assistant) and 14.5 FTEs in the General Counsel's

office, for a total of 23.5 FTEs. The budget request assumes that the Commission will have a full complement

of Commissioners in place throughout FY 2002.

FTE

FY 2001 Est. FY 2002

Est.

Commission 25.5 23.5

Strategic Plan Goals and Objectives and Performance Goals and Measures
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The Review Commission's Strategic Plan (Revised) includes the following goals and objectives related to this

function:

Strategic Plan Goal Strategic Plan Objectives

GOAL # 1

Public Service Goal

To assure fair, just, and expeditious adjudication of disputes brought before the

Commission and its judges, and achieve a high level of quality in all legal decisions

1.5 Increase the percent of Commission-level

review decisions issued within a year

1.6 Reduce the percent of Commission-level

cases pending more than two years

1.7 Establish and comply with quality

standards

1.8 Explore ways to adapt alternative means of

dispute resolution to case processing

Performance Goals Performance Indicators FY

1998

Actual

FY

1999

Actual

FY

2000

Actual

FY 2001

Estimate

FY 2002

Estimate

1.5* Increase the percent of Commissionlevel dispositions issued within 325

days

55% of cases that are disposed

of issued within 325 days

NEW

FOR

FY

2001

NEW

FOR

FY

2001

NEW

FOR

FY

2001

50% 55%

1.6 Reduce the percent of cases pending for

more than two years

Reduce by 30% the number of

cases pending more than 2 years

NEW

FOR

FY

2001

NEW

FOR

FY

2001

NEW

FOR

FY

2001

25% 30%

1.7 Establish quality standards for

Commission decisions and case

processing

Percent of effort to complete NEW

FOR

FY

2002

NEW

FOR

FY

2002

NEW

FOR

FY

2002

NEW

FOR

FY 2002

25 %

(Establish team to

benchmark quality

standards for case

processing)

1.8 Explore alternative means of dispute

resolution for Review Commission

cases

Benchmark other ADR

initiatives

NEW

FOR

FY

2002

NEW

FOR

FY

2002

NEW

FOR

FY2

002

NEW

FOR

FY 2002

Benchmark other ADR

initiatives

* The measurement in FY 1998, FY 1999, and FY 2000 was to issue 95% of cases within 375 days, 350 and

325 days respectively.

Management and Administration Function

Function

The function of Management and Administration is to provide executive management and administrative

support services for the Review Commission, to assure its success in fulfilling its mission. The function is

directly related to our public service goal, our communications goal, and to our organizational goal.

Management and Administration Operations

The Management and Administration function includes the public information function which facilitates
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communication with the public. Management and Administration also provides strategic planning and

operational management of the organization, including case docketing, technology management,

procurement of goods and services, payroll and personnel services, training, and materiel and space needs

for each of the offices. The aim is to ensure that headquarters staff and regional office staffs can carry out

their case responsibilities with adequate administrative support.

The day-to-day tasks performed under the direction of the Executive Director, include:

docketing incoming cases resulting from OSHA appeals and communicating with the public in general

and case parties in particular

maintaining a public information office, including providing case decisions to the public

responding to Congressional and Freedom of Information Act inquiries

disseminating case file documents to the public

maintaining and enhancing a website to provide the public with greater access to Review Commission

information, particularly decisions at the Administrative Law Judge and Commission levels

responding to requests of or fulfilling responsibilities to other executive agencies

formulating and presenting the Review Commission's annual budget and performance plans and

reports

controlling the obligation and disbursement of funds

maintaining a personnel function, including establishing and implementing personnel policies and

hiring, training, and promoting employees

procuring goods and services

maintaining and repairing equipment

maintaining a library for legal and technical research

providing travel assistance to Administrative Law Judges and others

implementing improved computerized case management and administrative systems through hardware

and software

developing security enhancements

enhancing telecommunications and improving technology efficiency and effectiveness

Anticipated Management and Administration Workload for FY 2002

During FY 2002 this function will pursue activities in support of the Agency's three goals. The request

supports the goals in our strategic plan that aim for improved service to and communications with the public

through the implementation of goal #3, the organizational goal. During FY 2002, the Review Commission

will:

Use modern technology and techniques to provide faster and better public access to and dissemination

of Review Commission information and decisions

Support and enhance a website to provide ready access to Review Commission decisions and

procedural rules and guidance

Improve the Review Commission's capability to obtain paperless interfaces and on line access with
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government and non-government systems

Enhance the Review Commission's computer security programs and policies, and increase employee

awareness

Enhance the case management and case tracking systems

Migrate to a client server for major applications in conjunction with wide area computer network to

improve data availability for staff

Meet the critical training needs of all Review Commission employees, particularly in the areas of

information technology and technical and legal training for judges and attorneys

Implement family-friendly initiatives, including a telework pilot

Continue the employee award and recognition system, which includes a comprehensive array of

chairman, individual, and team awards

Support a financial statement audit by an independent accounting firm

Support the conversion to the Foundation Financial Information System developed by the National

Finance Center

Improve procurement through the expanded application of on-line procurement and by making

greater use of performance-based contracts

Develop plans for employee succession, workforce transition, organizational streamlining (as

appropriate) and knowledge management and implement strategies

Maintain reproduction equipment and other operating equipment

Include performance goals in support of strategic plans in performance evaluation plans for employees

Monitor performance measures in the performance plan

We are in the process of developing an information security program/strategy that adheres to the principles

outlined for securing Government agencies technology investments. In this regard, we will:

(1) explore and assess information security risks to business operations;

(2) determine what policies, standards, and controls should be implemented to reduce these risks and

establish appropriate levels of security without disrupting business performance;

(3) prioritize security projects to ensure success

- develop fast-track security procedures to rapidly respond to Government electronic initiatives

- look at best practices for scaling security programs to meet security

needs;

(4) determine the most effective way to develop and communicate a security vision, and promote staff

awareness and understanding; and

(5) periodically reevaluate security parameters to best support diverse business requirements and assess

compliance and control effectiveness.

Staffing

The Review Commission requests 17.5 FTEs for the Management and Administration function in FY 2002,

the same level as in the preceding year. These positions consist of the Executive Director and her

Administrative Assistant, an Information Technology Officer and an Analyst, A Public Information Officer

and Assistant, the Executive Secretary and three Legal Technicians, the Director of the Office of Financial

and Administrative Services and six administrative, personnel, procurement, and, financial accounting

positions, and a part-time Librarian.

The normal duties and responsibilities of the Management and Administration staff have been augmented in
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the past years by the requirement to develop, implement, and monitor strategic and performance plans and

reports, and to implement, on a day-to-day basis, objectives of the strategic and performance plans. The

Executive Director has continuing responsibility for achieving the external communication and

organizational goals as well as objectives supporting the public service goal.

FTE

FY 2001 Est. FY 2002

Est.

Management and Administration 17.5 17.5

Strategic Plan Goals and Objectives and Performance Goals and Measures

The Review Commission's Strategic Plan (Revised) includes the following goals and objectives related to this

function:

Strategic Plan Goals Strategic Plan Performance Objectives

GOAL # 1 Public Service Goal

To assure fair, just, and expeditious adjudication of disputes brought

before the Commission and its judges, and achieve a high level of quality

in all legal decisions

1.7 Establish and comply with quality standards

1.8 Explore alternative means of dispute resolution for Review

Commission cases

GOAL # 2

External Communications Goal

To enhance the efficiency and effectiveness of communications between

the Commission and the public it serves

2.1 Improve the effectiveness of the Review Commission's

website to ensure that communications remains open,

research-friendly, and current

2.2

2.3

Provide decisions and other agency publications to the

public and litigants through the website

Increase the frequency of publication of CD-ROMs for use

by litigants, libraries, and other interested parties

2.4 Improve and strengthen mechanisms for communications

between the Review Commission and entities that have an

interest in its activities

2.5 Produce reports of Review Commission Activities

2.6 Promote the use of electronic transmission of documents to

the Review Commission

2.7 Improve the timeliness of responses to questions received

from the public

Strategic Plan Goals Strategic Plan Performance Objectives

GOAL #3 Organizational Goal 3.1 Recruit and maintain a diverse, and highly

motivated staff with the skills necessary to

support the mission of the Agency

To further develop and invest in a highly effective, motivated, and diverse workforce

equipped with modern information technology and communications systems to

facilitate the accomplishment of its goals, meet program needs and increase

organizational effectiveness and efficiency

3.2

3.3

3.4

Provide training and increase staff development

opportunities that optimize our employees'

capabilities, potential, and level of technical

competence through a variety of methods

Improve internal communications and create a

culture that promotes teamwork

Implement management and administrative tools

to support the organizational and program needs
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3.5 Fully use the awards system to motivate highlevel performance and innovation, and to

encourage achievement of the Agency's strategic

goals

3.6 Improve the performance management program

(e.g., position descriptions, performance plans,

award systems) to enhance individual and

organizational effectiveness

3.7 Invest in an effective information technology

infrastructure that meets user needs, protects

privacy, and secures against unauthorized access

or disruption

3.8 Increase employee productivity and improve the

quality of work products by ensuring that

employees have the automation and research

tools necessary to perform their job

3.9 Increase electronic communications to improve

quality, availability, and speed of information

and efficiency of operations

3.10 Enhance case management/tracking abilities to

provide additional management and performance

evaluation information

3.11 Improve the quality of work life

Performance Goals Performance

Indicators

FY 1998

Actual

FY 1999

Actual

FY 2000

Actual

FY 2001

Estimate

FY 2002

Estimate

1.7 Establish quality standards for

Review Commission case processing

Percent of

effort to

complete

NEW FOR

FY 2002

NEW FOR

FY 2002

NEW

FOR

FY 2002

NEW FOR

FY 2002

25 %

(Establish team

to benchmark

quality

standards for

case procesing)

2.1 Improve the effectiveness of our

website to ensure that

communications remain open,

research-friendly, and current

Number of

enhancements

NEW FOR

FY 2002

NEW FOR

FY 2002

NEW

FOR

FY 2002

NEW FOR

FY 2002

1

2.2

P.9 under

FY 97-00

SP & FY

01 PP

Extent to which decisions and other

agency publications are made

available to the public and litigants

through the website

% of effort

completed

50% of

(Website

established

with recent

decisions)

70% (Site

established

with

earlier

decisions)

100%

(Enhanced

website)

75%

(Include older

decisions and

enhance search

capabilities)

25%

(Increase

information on

website)

2.3

P.11 under

FY 97-00

SP & FY

01 PP

Improve the frequency of publication

of CD-ROMs for use by litigants,

libraries, and other interested parties

Number of

CD-ROMS

0 1 2 3 3

2.4

P.12 under

FY 97-00

SP & FY

01 PP

Improve and strengthen mechanisms

for communications between the

Review Commission and entities that

have an interest in its activities

Percent of

effort

completed

50% 70% 100% 100%

(Survey)

50%

(Focus Groups)

2.5 Produce reports on the Review Number of 0 1 1 0 1
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P.13 under

FY 97-00

SP & FY

01 PP

Commission's activities Biennial

reports

2.6 Promote the use of electronic

transmission of documents to the

Review Commission

Percent of

steps

completed

Not

applicable

Determine

feasibility

Pretest

and pilot

Continue pilot 50%

(Evaluate the

pilot -- new

effort)

2.7 Improve the timeliness of responses

to questions received from the public

Average

number of

days

NEW FOR

FY 2002

NEW FOR

FY 2002

NEW

FOR

FY 2002

NEW FOR

FY 2002

20 days from

receipt

3.1

P.19 under

FY 97-00

SP & FY

01 PP

Recruit and maintain a diverse, and

highly motivated staff

Percent of

effort

completed

NEW FOR

FY 2001

NEW FOR

FY 2001

NEW

FOR

FY 2001

50%

(Develop

succession plans,

knowledge

management

strategies and job

competencies)

50%

(Complete FY

2001 efforts and

write workforce

transition plans)

3.2

P.18 & 21

under FY

97-00 SP

& FY 01

PP

Provide training and career

development opportunities for

employees

Average

number of

training hours

30 hours 40 hours 40 hours 40 hours Assess and

prioritize

training needs

3.2.1 Expand training delivery methods to

accommodate workforce needs

Percent of

training

offered by

specific

means

NEW FOR

FY 2002

NEW FOR

FY 2002

NEW

FOR

FY 2002

NEW FOR

FY 2002

70% - classroom

20% -

audio/video tape

10% - on-line

3.3

P.17 under

FY 97-00

SP & FY

01 PP

Improve internal communications Percent of

effort

completed

NEW FOR

FY 2001

NEW FOR

FY 2001

NEW

FOR FY

2001

50%

(Develop and

install Intranet)

50%

(Complete

development

and installation

of Intranet)

3.3.1

P.20 under

FY 97-00

SP & FY

01 PP

Create a culture that promotes

teamwork

Percent of

effort

completed

NEW FY

2001

NEW FY

2001

NEW FY

2001

50%

(Assess current and

target culture)

50%

(Develop

management

initiative)

3.4

P.16 under

FY 97-00

SP & FY

01 PP

Improve the systems that support

financial management and personnel

and payroll services

Percent of

effort

completed

NEW FOR

FY 2002

NEW FOR

FY 2002

NEW

FOR FY

2002

NEW FOR

FY 2002

25%

(Planning

coordination

efforts with the

National

Finance Center)

3.5 Link employee performance and

team and incentive awards to the

achievement of innovation and

Agency strategic and performance

goals

Percent of

effort

NEW FOR

FY 2002

NEW FOR

FY 2002

NEW

FOR FY

2002

NEW FOR FY

2002

50%

(Revise awards

policies)
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3.6 Improve the performance

management program to enhance

individual and organizational

effectiveness

Percent of

effort

completed

NEW FOR

FY 2002

NEW FOR

FY 2002

NEW

FOR FY

2002

NEW FOR FY

2002

25%

(Review and

rewrite 25% of

position

descriptions)

3.7 Invest in an effective information

technology infrastructure that meets

user needs and secures against

unauthorized access or disruption

Percent of

effort

completed

NEW FOR

FY 2002

NEW FOR

FY 2002

NEW

FOR

FY 2002

NEW FOR

FY 2002

50%

(Develop

security policy

and employee

awareness

initiatives)

3.8

P.15 under

FY 97-00

SP & FY

01 PP

Improve the automation and research

tools

Percent of

effort

completed

NEW FOR

FY 2001

NEW FOR

FY 2001

NEW

FOR

FY 2001

50%

(Develop intercomponent team to

define and assess

efficiency

improvement)

30%

(Prototype and

monitor

determined

solutions for

effectiveness)

3.9

P.14 under

FY 97-00

SP & FY

01 PP

Increase electronic communications

to improve quality, availability, and

speed of information and efficiency

of operations

Percent of

improvement

over base

year, FY 99

30% of

effort

completed

100% of

effort

completed

Assess 50%

(Improve speed and

access to outside

sources)

30%

(Migrate to

client server

environment for

major

applications)

3.10

P.13 under

FY 97-00

SP & FY

01 PP

Improve case information Percent of

effort

completed

60% of

effort

completed

80% of

efforts

completed

100% of

effort

completed

50%

(Enhance case

management

information

system)

50%

(Implement

additional

reporting and

data

communication

enhancements)

3.11 Improve the quality of work life Number of

initiatives

NEW FOR

FY 2002

NEW FOR

FY 2002

NEW

FOR FY

2002

NEW FOR FY

2002

2 initiatives

IV. Strategies in the

Strategic Plan (Revised)

FY 2000 - 2005

Strategies in the Strategic Plan (Revised)

The Review Commission has three strategic goals. A series of strategies were developed in support of each

goal.

GOAL #1: Public Service Goal: To assure fair, just, and expeditious adjudication of disputes brought before

the Commission and its judges, and achieve a high level of quality in all legal decisions
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Strategies

Use an internal team to develop baselines for case processing and decision quality

Benchmark alternative means of dispute resolution used in similar adjudicative processes and adapt

appropriate measures to reduce the costs of dispute resolution

Administrative Law Judge TRIAL LEVEL

Expedite the assignment of cases to judges

Use objective criteria to determine complex cases, and track the processing of these cases

Monitor closely case performance, and improve case management information systems and reports

Conduct early review and screening of the potentially difficult cases

Provide training to all judges on a variety of subjects, including technical and legal issues, legal

writing, case management and alternative means of dispute resolution to help them develop the most

skillful services and processes equal to the very best in judicial arenas

Continue to use a team of judges to handle, on a rotational basis, extremely complex cases and assign

appropriate staff to timely process and monitor such cases, including settlement discussions

COMMISSION LEVEL

Continue the Commission's effort to focus on the disposition of a balance of older and newer cases,

giving priority to the more significant and more complex cases

Concentrate efforts on issuing the maximum number of decisions possible, while at the same time,

reducing the number of older cases pending and ultimately the age of the pending inventory

Implement internal markers to assist in the preparation of cases and issuance of Commission decisions

Accelerate processing of cases through a variety of efforts, including early intervention of the chief

counsels, briefing new attorneys and new Commissioners on Review Commission procedures and legal

precedent, developing a Review Commission procedures manual, and creating ways to resolve cases

when there are only two Commission members

Continue to use teams and staff meetings in the Office of the General Counsel

Develop creative methods to shorten case preparation of documents and develop alternatives to current

formats of decisions

GOAL #2: External Communications Goal: To enhance the efficiency and effectiveness of communications

between the Commission and the public it serves

Strategies

The thrust of our strategy here will be to build on the improvement in the quality of our procedural guides

and the professionalization of our other paper publications by making all of our decisions and publications

available in electronic format, as we work toward paperwork reduction and elimination. Our emphasis will

be on timely dissemination of information in a format that is research-friendly.

Provide greater public access to Review Commission activities and decisions (Administrative Law

Judge, Commission and published appellate court) through the use of the Internet

Use modern automated technology and techniques, both inside and outside the Review Commission, to

provide faster and better public access to and dissemination of Review Commission information and

decisions

Convert older Review Commission decisions into research-friendly electronic form for inclusion on the

Review Commission's web site

Continue to provide links to appropriate state websites on the Review Commission's website to assist

the public in gaining easy access to information from each of the states that operates its own Federally

approved job safety and health enforcement and adjudication system

Provide safety and health information developed by the Review Commission through our website

Use the Review Commission's website to provide information released under the Freedom of
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Information Act (FOIA) and certain other information not currently available to the public without the

need to make a FOIA request first or without the need for significant search time

Develop methods to routinely get feedback from the Commission's external stakeholders

Explore and develop technology which will enable electronic transmission of information required by

the Review Commission, and improve the quality and efficiency of filing documents with the Review

Commission

Promote the use of electronic communications when dealing with litigants and other external resources

(e.g., government agencies, vendor solicitations, FOIA requests)

Develop and strengthen mechanisms to disseminate significant Review Commission information on a

timely basis to inform the public of critical safety and health issues decided by the Review Commission

Expand our public information role in disseminating Review Commission decisions

Expand the use of web-enabled and other information technologies that increase the effectiveness and

efficiency of Review Commission operations

Improve the Review Commission's capability to obtain paperless interfaces and online access with

government and non government systems

GOAL #3: Organizational Goal: To further develop and invest in a highly effective, motivated, and diverse

workforce equipped with modern information technology and communications systems to facilitate the

accomplishment of its goals, meet program needs and increase organizational effectiveness and efficiency

Strategies

Human Resources

In the human resource area, our strategy has three significant elements to create and maintain a high

performing workforce -- recruitment, employee development, and management and administrative support

tools.

Develop and implement succession and workforce transition plans to minimize the impact of attrition

because of the expected retirement wave, and recruit for positions from a cross section of sources,

including colleges, universities, law schools

Create a culture that incorporates core values and provide a work environment with workplace

policies and programs that enable employees to excel, including telecommuting initiatives, familyfriendly initiatives, and enhanced transit subsidies

Rewrite position descriptions, develop core competencies for positions, and link appropriate employees'

performance plans to accomplishment of the Agency's strategic and performance goals

Integrate the redesigned performance and Chairman team awards and suggestions programs with our

performance management systems to encourage innovation, quality improvements, team work, and

goal achievement, as well as high level individual performance

Assess periodically the training needs of employees to target and prioritize training for basic,

developmental and leadership courses and deliver training by using the most efficient and effective

means, including use of Internet, on-line training, video training, and CD ROMs to achieve Agency

goals, and high quality performance

Develop documentation and data collection instruments to assess the quality of training provided and

to determine the extent to which training expenditures enhance employees' ability to better perform

their jobs

The General Counsel will conduct on-the-job training on various subjects, including significant legal

or procedural developments, and effective and efficient case handling. The Executive Director will

conduct training on Agency goals, objectives, and strategies and measurements

Develop knowledge management strategies, supported by appropriate software, to maintain a highly

effective workforce technically proficient in the rapid changes in computer technology, worker safety

and health standards, procurement, leadership and management initiatives, and financial and

personnel management

Assess the effectiveness of internal communications, develop and disseminate revised Agency policy
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directives, prepare a list of specific changes that can be made to improve the effectiveness of

communications among Review Commission employees, and between employees and managers, and

implement necessary changes

Guard the integrity and efficiency of the financial management and human resource programs to

support program and organizational needs

Continue to provide state-of-the-art research tools, including on-line capabilities and improved Review

Commission library services

Information Technology

Our strategy is to capitalize on the advances we have made and continue to increase proficiency and

efficiency in our use of new technology to effectively accomplish program objectives and meet customer

expectations.

Improve telecommunications, availability, and speed of information accessed by employees, Federal

agencies, and the public

Maintain an infrastructure of modern servers, personal computers, networks, operating systems,

databases, telecommunications and other technology

Develop an overall information technology (IT) security program plan, and provide IT security

awareness training

Improve technology to support our knowledge management strategies

Develop Intranet to assist in operating more efficiently and increase employees' effectiveness in

servicing internal and external customers

Develop useful management and financial information systems that facilitate aggregate reporting and

oversight procedures and secure the information we possess

Enhance case management/case tracking by developing systems that will support additional reporting

and data communications capabilities, including tracking large or complex cases

Equip appropriate employees with portable computers to function as both desktop and portable

systems ("docking stations")

Provide the most efficient and effective means of delivering training, including use of the Internet, online training, and video training

V. FY 2001

Revised Final Annual

Performance Plan

The Review Commission is revising some of the fiscal year 2001 performance goals and measures identified

in our public service strategic goal. We are revising our performance goals and indicators based on

performance information identified in our FY 1999 Performance Report, preliminary performance

information obtained in fiscal year 2000 and the profile of cases in our inventory.

The Government Performance Results Act allows an agency to revise its final Annual Performance Plan

based on actual performance data contained in the program performance report for the previous fiscal year.

Circular A-11 specifies:

"As agencies collect and report program performance information for the prior fiscal year, this

actual information may show a need to modify performance goals for a fiscal year."

The current performance measures are based on reducing cycle times for cases adjudicated before our

Administrative Law Judges and Commissioners. Since that measure was developed in fiscal year 1997, the

cases have increased in complexity. Moreover, the Commission membership has experienced frequent
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changes. The combined impact of these factors, which are beyond the control of the Review Commission,

was identified in our FY 1999 Performance Report, and continues to adversely affect our ability to meet our

goals. Therefore, we are changing our performance measurements from a reduction in cycle time to an

increase in the percent of cases that are resolved by the Review Commission, taking into account the

complexity of cases and the need to retire our older cases.

At the Administrative Law Judge level, the increase in large and complex cases have affected our ability to

meet our goals. The number of complex cases continues to increase. The current indicator assumes that 10

percent of complex cases at the trial level are complex cases. However, the Review Commission realized a 23

percent increase in large or complex cases between fiscal years 1998 and 1999. The complexity of cases

results from the existence of a combination of factors which include: number of parties, number of expert

witnesses, volume of documents, and number of alleged violations.

At the Commission level, at the beginning of FY 2000, more than 26 cases were older than two years, many

more than four years old. This is due in part to the lack of a quorum and/or a full three-member

Commission for most of the past three years. The inability to resolve cases has resulted in an increased

inventory of cases. As the cases that have been on the docket for several years are resolved, the average cycle

time inevitably increases. This creates a dilemma, and possibly an incentive to resolve last-in cases first, in

order to meet the cycle time goal. Over time, as more and more older cases are retired, this dilemma will be

resolved. But in the meantime, an aggressive retirement of old cases results in cycle times that far exceed our

goals.

Since the submission of the Final FY 2001 Annual Performance Plan, we have carefully reviewed program

performance information and made the following changes. The table below displays the changes from the FY

2001 Annual Performance Plan to the FY 2001 Final Revised Annual Performance Plan.

Current FY 2001 Performance Goals and Measures Final Revised FY 2001 Annual Performance Plan

P.1 Reduce cycle time for most

conventionally tried ALJ cases

90% in

325 days

or less

1.1 Increase the percent of non-complex cases disposed

of with hearing that are disposed of within 325 days

70%

within 325 days

1.2 Increase the percent of complex cases disposed of

with hearing that are disposed of within 18 months

70%

within 540 days

P.2 Maintain average cycle time for

conventional ALJ case settlements for

non-trial cases

180 days

or less

1.3 Increase the percent of cases that are disposed of

without a hearing that are disposed of within six

months

70% within 180 days

P.3 Virtually eliminate cases that take

more than one year to settle

1% 1.4 Increase the percent of cases that are disposed of

without a hearing that are disposed of in less than

one year

99% within 365 days

P.4 Reduce cycle time for Commission

review to less than one year

95% in

325 days

or less

1.5 Increase the percent of Commission-level

dispositions issued within 325 days

50% of cases that are

disposed of issued within

325 days

1.6 Reduce the percent of cases pending for more than

two years

25% reduction in the

number of pending cases

P.5 Maintain cycle time for cases under

the E-Z Trial program

160 days These goals will be tracked in FY 2001, but will be discontinued

thereafter since they are subsumed in the new performance goals

P.6 Expand the use of E-Z Trial 30% noted above (1.1 - 1.3).

P.7 Expand the use of Settlement Part 30
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VI. Budget by Object

Classification Category

Budget by Object Classification Category

For FY 2002, the Review Commission requests $8,964,000. This amount is 2.8 percent above the amounts

available for FY 2001. The request would support 70 FTEs. The increase reflects the impact of the January

2001 and 2002 pay raises. The proposed budget by object classification category is shown in the table below,

along with the current year budget. A narrative explanation of the amounts requested for each object

classification follows the table.

Object Classification Table

for the

Occupational Safety and Health Review Commission

Fiscal Years 2001 and 2002

($ in 000s)

Change FY 2001-2002

Object Class FY 2001 FY 2002 $ %

11.1 Full Time Permanent 6,038 6,222 +184 +3

11.5 Other Compensation 25 25 0 0

Sub-total 6,063 6,247 +184 +3

12.1 Benefits to Personnel 967 1,027 +60 +6

21.0 Travel 127 127 0 0

22.0 Transportation of Things 7 7 0 0

23.1 Rental Payments to GSA 727 727 0 0

23.2 Rents, Communications, Utilities, and Miscellaneous 61 61 0 0

24.0 Printing 44 44 0 0

25.0 Other Services 424 424 0 0

25.1 Services by Other Federal Agencies 70 70 0 0

25.3 Repair and Maintenance of Equipment 36 36 0 0

26.0 Supplies 112 112 0 0

31.0 Equipment 82 82 0 0

Total 8,720 8,964 +244 +3

11.1 Full Time Permanent Positions

Change FY 2001-FY 2002

FY 2001 FY 2002 Amount %

$6,038,000 $6,222,000 +184,000 +3

The request for FY 2002 includes $6,222,000 to fund the direct payroll costs of a staff of 70 employees. This

is an increase of $184,000 from the level available in FY 2001. This amount includes the effect of the general

pay raise in January 2001 and of the presumed general payraise in January 2002.
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All authorized positions are expected to be filled at the start of the fiscal year, and any positions becoming

vacant during the year will need to be filled quickly. The net effect of these two expectations is that the entire

amount requested will be needed.

11.5 Other Compensation

Change FY 2001-FY 2002

FY 2001 FY 2002 Amount %

$25,000 $25,000 -0- -0-

Consistent with the Review Commission's encouragement of individual employee initiative and performance,

$25,000 is requested to provide funds to reward employees for superior performance or special acts or

services. Cash awards are a necessary incentive in the Review Commission's continuing effort to improve the

quality and timeliness of its work product, which in turn, contributes to overall agency efforts to accomplish

its Annual Performance Plan objectives.

12.1 Personnel Benefits

Change FY 2001-FY 2002

FY 2001 FY 2002 Amount %

$967,000 $1,027,000 +60,000 +6

An amount of $1,027,000 is needed to fund the payroll-related costs of employee benefits in FY 2002. These

benefits principally consist of the government's contribution to the CSRS and FERS retirement programs,

life and health insurance programs, and the Thrift Savings Plan. The request reflects the increase in the

government contribution rates for the CSRS and FERS program. Personnel Benefits are increasing as a

proportion of personnel costs in general as more employees are covered by the FERS program and as the

costs and types of other benefits increase. We expect these costs to increase from a projected 13.8 percent of

total Salaries and Benefits in FY 2001 to 14.1 percent in FY 2002.

21.0 Travel

Change FY 2001-FY 2002

FY 2001 FY 2002 Amount %

$127,000 $127,000 -0- -0-

The Review Commission requests $127,000 for travel. Travel of administrative law judges to conduct

hearings will require an estimated $97,000. The request also includes funds for travel associated with

training, conferences and supervisory travel to the regional offices.

22.0 Transportation of Things

Change FY 2001-FY 2002

FY 2001 FY 2002 Amount %

$7,000 $7,000 -0- -0-

An amount of $7,000 is requested to fund the cost of shipping materials between Review Commission offices

and other locations, and the shipping costs associated with the purchase of supplies and equipment.

23.1 Rental Payments to GSA

Change FY 2001-FY 2002
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FY 2001 FY 2002 Amount %

$727,000 $727,000 -0- -0-

Office space rent is expected to cost $727,000 in FY 2002.

23.2 Communications, Utilities and Miscellaneous Charges

Change FY 2001-FY 2002

FY 2001 FY 2002 Amount %

$61,000 $61,000 -0- -0-

Telephone and postage costs are projected to require $61,000 in FY 2002. Local phone service is expected to

require $38,000. Long distance service is estimated at $6,000, and postage for the required mailing of letters,

cases, and other materials is expected to be $17,000.

24.0 Printing

Change FY 2001-FY 2002

FY 2001 FY 2002 Amount %

$44,000 $44,000 -0- -0-

Our printing costs consist mainly of the charges for publishing proposed regulations and announcements in

the Code of Federal Regulations (CFR) and the Federal Register, purchasing copies of the CFR and the

Federal Register and other GPO publications. Together, these printing/publishing costs are expected to

approximate $9,000 in fiscal year 2002. The balance of the budget -- $35,000 -- is needed for continuing

development and maintenance of the Review Commission's Internet website, which is housed and

maintained by the Government Printing Office and for the production of compact discs which contain the

latest decisions reached by the Review Commission's Administrative Law Judges and by the full

Commission.

25.0 Other Services

Change FY 2001-FY 2002

FY 2001 FY 2002 Amount %

$424,000 $424,000 -0- -0-

An amount of $424,000 is requested for Other Services. A number of the obligations funded in this area have

uncontrollable costs. However, we have attempted to reduce other contract services where we can. The costs

reflect the impact of inflation on the costs for these services. This area includes such unavoidable items as

court reporting ($90,000), maintenance and development of the Review Commission's ADP system ($60,000),

and on-line legal research ($34,000). The category also includes training ($35,000) and other contractual

services that are required as circumstances warrant, including the contracting of temporary services, legal

research services, and studies.

25.1 Services by Other Federal Agencies

Change FY 2001-FY 2002

FY 2001 FY 2002 Amount %

$70,000 $70,000 -0- -0-

An amount of $70,000 is requested for Services Provided by Other Federal Agencies. This area includes

$50,000 for the costs of support by the National Finance Center and $20,000 for other interagency service.
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25.3 Repair and Maintenance of Equipment

Change FY 2001-FY 2002

FY 2001 FY 2002 Amount %

$36,000 $36,000 -0- -0-

An amount of $36,000 is requested for Repair and Maintenance of Equipment including equipment used for

printing and ADP equipment.

26.0 Supplies

Change FY 2001-FY 2002

FY 2001 FY 2002 Amount %

$112,000 $112,000 -0- -0-

The amount of $112,000 is requested for materials and publications. General office supplies will require an

estimated $22,000. ADP supplies, including software, will require approximately $20,000, and, subscriptions

to necessary legal and OSHA related publications will require $70,000.

31.0 Equipment

Change FY 2001-FY 2002

FY 2001 FY 2002 Amount %

$82,000 $82,000 -0- -0-

The amount of $82,000 is required for equipment in FY 2002, of which $52,000 is to be applied to computer

acquisitions. This amount will enable the Review Commission to continue the replacement cycle established

in earlier years. The expected life cycle of our ADP equipment is four years. Our ADP equipment includes

personal computers, printers, a local area network, and associated peripherals. The remaining $30,000 of the

amount requested for equipment will be used to replace worn or obsolete equipment or any furniture that

may be needed.

VII. Other Tables

Appropriation History

Occupational Safety and Health Review Commission

Fiscal Year Request to

Congress

House

Allowance

Senate

Allowance

Appropriation

1971 $ 75,000 $ 75,000 $ 75,000 $ 75,000

1972 400,000 400,000 400,000 1,592,000

1973 5,979,000 5,979,000 5,979,000 3,850,000

1974 4,890,000 4,890,000 4,890,000 4,687,000

1975 5,720,000 5,512,000 5,700,000 5,512,000

1976 5,806,000 5,769,000 5,769,000 5,769,000

TQ 1,464,000 1,464,000 1,464,000 1,464,000
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1977 6,280,000 6,607,000 6,607,000 6,607,000

1978 7,150,000 7,150,000 7,150,000 7,150,000

1979 7,658,000 7,658,000 7,658,000 7,658,000

1980 7,450,000 7,450,000 7,450,000 7,450,000

1981 7,806,000 7,806,000 7,806,000 7,806,000

1982 7,787,000 7,787,000 7,387,000 7,092,000

1983 6,316,000 6,316,000 6,316,000 6,316,000

1984 6,331,000 5,982,000 6,339,000 5,982,000

1985 6,143,000 6,143,000 6,143,000 6,143,000

1986 5,742,000 5,901,000 5,901,000 5,647,000

1987 5,750,000 5,647,000 5,750,000 5,750,000

1988 6,232,000 5,885,000 5,885,000 5,885,000

1989 6,002,000 5,831,000 5,831,000 5,845,000

1990 5,970,000 5,970,000 5,970,000 5,970,000

1991 6,401,000 6,401,000 6,401,000 6,401,000

1992 6,711,000 6,497,000 6,497,000 6,711,000

1993 7,241,000 7,169,000 7,169,000 7,169,000

1994 7,262,000 7,362,000 7,362,000 7,362,000

1995 7,655,000 7,595,000 7,595,000 7,595,000

1996 8,127,000 8,200,000 8,100,000 8,081,000 1

1997 7,753,000 7,753,000 7,753,000 7,738,000 2

1 Reduced to $8,081,000 by P.L. 104-134 2 Reduced to $7,738,000 by P.L. 104-208

Fiscal Year Request to Congress House Allowance Senate Allowance Appropriation

1998 7,800,000 7,900,000 7,800,000 7,900,000

1999 8,050,000 8,100,000 8,100,000 8,092,000 3

2000 8,500,000 8,100,000 8,500,000 8,470,000 4

2001 8,720,000 8,600,000 8,720,000 8,720,000

2002 8,964,000

3 Reduced to $8,092,000 by H.R. 1664 4 Reduced to $8,470,000 by P.L. 106-113

Authorized Full Time Positions, by Function

FY 2000

Actual

FY 2001 Actual FY 2002 Proposed

Commission

Executive Level III 1 1 1

Executive Level IV 2 2 2

ES-6 1 1 1

ES-3 1 1 1

GS-15 4.5 5 5

GS-14 7 7.5 7.5

GS-13 1 2 1
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GS-12 1

GS-11 1 1 1

GS-10 .5 2 2

GS-9 1 1 1

GS-7 1 1 1

Sub-total 21 25.5 23.5

Administrative Law Judge

AL-I 1 1 1

AL-III 11 13 13

GS-14 4 4 4

GS-13 1 1 1

GS-12 1 1 1

GS-11 4 4 4

GS-9 2 2 2

GS-8 2 2 2

GS-6 1 1

Sub-total 26 29 29

Management and Administration

ES-6 1 1 1

GS-15 2 2 2

GS-14 3 3 3

GS-13 1 1 1

GS-12 2 2 2

GS-11 1 1.5 1.5

GS-10 1 1 1

GS-9 4 4 4

GS-7 1 1 1

GS-6 1 1

Sub-total 16 17.5 17.5

Total full-time equivalent positions 63 72 70